Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Avallon is a financial advisor at Janney Montgomery Scott LLC. Richard has been in the financial services industry since 1972 and holds the Series 7TO, Series 8, Series 9, Series 10, Series 63, and SIE licenses. Richard has also earned the Certified Financial Planner designation. Before joining Janney Montgomery Scott, Richard was with CARREAU, SMITH, INC. Richard is registered to provide investment advice in 27 states and has offices in Fairfield, CT, and Newtown, CT.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fee plus commission
1
2
CT
01/08/2013 - Present
Janney Montgomery Scott LLC (FAIRFIELD CT)
NA
10/12/1972 - 01/28/1980
CARREAU, SMITH, INC.
BC
Issued 02/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/27/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1977
PC - AMEX Put and Call Exam
BC
Issued 09/24/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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